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CAPITAL FINANCIAL GROUP, INC.
CRD 111709File 801-117272
APPROVED
Retail clients
Filing as of Jul 16, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$237.4M
Below cohort median (national)
Discretionary AUM
$219.5M
Non-discretionary $17.9M
Clients
238
667 accounts
Employees
5
Below cohort median in CO
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Aug 28, 2019
- Principal office
- 13986 BOWLES AVE., SUITE 200, LITTLETON, CO, 80127
- Phone
- 303-629-7500
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $237.4M
- Discretionary AUM
- $219.5M
- Non-discretionary AUM
- $17.9M
- Discretionary accounts
- 609
- Non-discretionary accounts
- 58
- Total accounts
- 667
- AUM per client
- $997K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $577K |
| High net worth individuals | 62 | $147.1M |
| Pension and profit sharing plans | Fewer than 5 | $14.4M |
| Individuals (other than high net worth individuals) | 171 | $75.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Clients | 245 | 238 | decreased by7 |
| Feb 1, 2026 | AUM | $204,720,315 | $237,367,874 | increased by$32,647,559 |
| Feb 1, 2026 | Accounts | 655 | 667 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 178 | 245 | increased by67 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $233,463,700 | $204,720,315 | decreased by$28,743,385 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 538 | 655 | increased by117 |
| Apr 1, 2022 | Clients | 182 | 178 | decreased by4 |
| Apr 1, 2022 | AUM | $198,177,796 | $233,463,700 | increased by$35,285,904 |
| Apr 1, 2022 | Accounts | 525 | 538 | increased by13 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPITAL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPITAL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.